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KUANG Xia

匡霞
CE AML239Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KUANG Xia (CE number AML239) is an individual licensed by the Hong Kong SFC. First licensed on 2005-09-08. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerInnovation Asset Management Co., Limited
鼎新資產管理有限公司
Responsible OfficerInnovation Securities Co., Limited
鼎新證券有限公司

Licence Record (7)

2018-09-11 – present Current
Innovation Asset Management Co., Limited RO
RA 4 RA 9
2016-02-16 – present Current
Innovation Securities Co., Limited RO
RA 1
2014-06-17 – 2015-04-16
Haitong International Securities Company Limited Rep
RA 1
2014-06-17 – 2015-04-16
Haitong International Futures Limited Rep
RA 2
2012-11-02 – 2014-03-06
Standard Chartered Securities (Hong Kong) Limited Rep
RA 1 RA 4
2010-05-19 – 2011-12-30
BNP Paribas Futures (Hong Kong) Limited Rep
RA 2
2005-09-08 – 2012-07-31
BNP Paribas Securities (Asia) Limited Rep
RA 1 RA 2 RA 4 RA 7

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AML239